Charles C. Norfleet
CETERA INVESTMENT ADVISERS LLC
BOSTON, MA
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CRD#: 6805147
Professional summary
Charles Carroll Norfleet Jr., CFP®, who also goes by Charles Norfleet, Chuck Carroll Norfleet Jr., is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boston, Massachusetts and CETERA WEALTH SERVICES, LLC located in Weston, Massachusetts.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Charles has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Norfleet | Chuck Carroll Norfleet Jr.
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE START DATE: 9/2017 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: I WILL BE PROVIDING INSURANCE SERVICES TO CLIENTS WHEN NEEDED, SALES OF LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: RENTAL PROPERTY - SELF INVESTMENT RELATED: NO ADDRESS: PAWCATUCK, CT 06379 NATURE OF BUSINESS: I RENT OUT MY CONDO. START DATE: 7/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I RENT OUT MY CONDO; 3. NAME OF OTHER BUSINESS: NORFLEET ADVISORY INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: OBA USED FOR SALE AND SERVICE OF SECURITIES, INSURANCE AND ADVISORY START DATE: 8/2021 POSITION/TITLE/RELATIONSHIP: OWNER, REGISTERED REP APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER, REGISTERED REP; 4. NAME OF OTHER BUSINESS: CHARLES NORFLEET JR.; INVESTMENT RELATED: NO; ADDRESS: 8 MELROSE ST APT 1 BOSTON, MA 02116; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: LANDLORD; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LANDLORD, RENTING OUT CONDO;
CRS (Client Relationship Summary) - RIA
Click below to view Charles Carroll Norfleet Jr.'s CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2021
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BOSTON, MA
Current
August 3, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Weston, MA
Past
August 10, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BRAINTREE, MA
Past
February 1, 2021 - July 26, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Boston, MA
Past
November 21, 2019 - July 23, 2021
MCADAM LLC
RIA
CRD#: 170914
Boston, MA
Past
August 30, 2017 - November 5, 2019
MCADAM LLC
RIA
CRD#: 170914
Boston, MA
Past
July 20, 2017 - April 24, 2019
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Tysons Corner, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/2/2021)
RR
Florida(9/2/2021)
RR
Louisiana(11/18/2024)
RR
Maryland(8/3/2021)
RR
Massachusetts(8/3/2021)
IAR
Massachusetts(6/29/2023)
RR
New York(7/16/2024)
RR
North Carolina(1/14/2025)
RR
Pennsylvania(9/3/2021)
RR
South Carolina(9/3/2021)
RR
Virginia(8/3/2021)
RR
Washington(5/21/2024)
RR
West Virginia(9/3/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
